Policies and Procedures

Employment of Relatives

Contact: Seresa Cruz
Phone: (407) 823-0363
Email: Seresa.Cruz@ucf.edu

Updated: November 25, 2015

Form:  Employment of Relatives form (this should be filled out by the supervisors)

Topics: 
University Policy
Procedures in College of Sciences
New Hires
Conflict of Interest
Management Plan

University Policy

UCF Policy 3-008.2

POLICY STATEMENT:

Direct Link: http://www.policies.ucf.edu/documents/3-008.2EmploymentOfRelatives.pdf

Summary
According to UCF Policy 3-008.2 Employment of Relatives, a conflict exits when a relative in the same unit or college is directly or indirectly supervising, directing, evaluating, or influencing the work activities, or job performance of another relative, or is in the same chain of command of the relative.

When an individual is considered for a position which he or she is uniquely qualified to fill but it will create a conflict of interest then a management plan must be included with the Employment of Relatives form. The purpose of a management plan is to demonstrate the conflict of interest is mitigated and monitored on a regular basis. The management plan needs to be submitted in writing, along with the Employment of Relatives form, and approved by the appropriate entities prior to offering a position.

In those instances when a research project requires unique skills or attributes of an individual that is not available in another candidate besides that of the employee’s relative, a plan to mitigate and monitor the conflict of interest must be submitted to the Research Conflict of Interest Committee for review and approval. Under no circumstances will a principal investigator be permitted to directly or indirectly supervise his or her relative.

Procedures in College of Sciences

The procedures outlined below have been implemented in the College of Sciences.

New Hires

The “Employment of Relatives” form and associated management plan (if applicable) must be approved before the candidate can be offered a position. The original should be sent to COS Administration prior to submitting any other HR-related paperwork. Once approved by the college and Human Resources or Faculty Relations, and the Research Conflict of Interest Committee (if applicable), the hiring unit will receive a notification from COS Admin. The policy on the form states: “A formal organizational chart that demonstrates the chain of command for both individuals MUST be submitted with this form”.

You may contact COS Admin at cosadmin@ucf.edu at any time to check on the status of the form.

Process Steps

1) Form is filled out by the prospective supervisor. If C&G funds will be used then it should be clearly identified in the request.
2) Once the prospective supervisor and the current UCF employee’s supervisor sign the request form, please submit to COS Admin through intercampus mail.
a. Please attach a formal organization chart depicting the separation of the related employees within the unit, department, or college. If not attached, COS Admin will place the request on hold pending the document.
b. If a Management Plan (see below) is needed, please ensure that it is attached as well.
3) COS Admin will obtain signature from the COS Dean’s Office designee.
4) We will then forward it to the appropriate university office.
a. Faculty Relations = Faculty, Adjunct, Post-Doctoral Associates, Teaching and Research undergraduate or graduate student assistantships
b. Human Resources = A&P, USPS, and OPS (including student employees)
c. Research Conflict of Interest Committee (if C&G funding)
5) Once the College has received approval from the university office, we will forward the approved form to the hiring unit.
a. At this time, a copy should be supplied to both employees.
b. If a management plan was attached, please follow through with any steps that were outlined.

Conflict of Interest
Potential Conflicts of Interest (PCOI) and Conflicts of Commitment (real or perceived) must be reported on an annual basis. If a change occurs at any time during the annual COI reporting period, such change must be reported in an “Amendment” no later than 30 days of discovering, acquiring, or committing to a new financial interest or commitment. (Link to Conflict of Interest site:http://www.coi.ucf.edu/index.html)

Management Plan
A management plan needs to be developed for all potential conflict of interests that arise when relatives work in the same unit. The management plan needs to be submitted in writing, along with the Employment of Relatives form, and approved by the appropriate entities prior to offering a position.

The plan should include the following elements:

  • Management
    • Third party supervisor will provide oversight and final authority related to any decisions
      • The third party supervisor must be a higher level than either position involved
      • The third party supervisor must be listed as the supervisor or as the appropriate system role to ensure all requests are properly routed. For example, in PeopleSoft SA/HR the third party supervisor will be listed in the “Reports to” field. A list of systems and the appropriate roles should be included in the management plan.
      • Required signature on any official university documents related to the employment arrangement (i.e. hiring proposal, credentials/qualifications, employment agreement, evaluation, conflict of interest, time and effort documents, etc.)
      • Required review and signature on any internal documents related to employment which should be listed in the management plan. Awarding of departmental or unit funds for any purpose (travel, research, conference support, etc.)
  • Compensation – initial salary, raises, and/or promotions must be approved by third party supervisor in accordance with university policies or practices, and internal organizational guidelines
  • Nature of oversight – should include some form of regular or periodic review

Include review, at least quarterly, of a job report prepared by the employee; or brief write up by supervisor based on periodic face-to-face discussion with the employee; or some other such periodic employee job performance review (specified).

  • Assignment(s)Work assignments must be confirmed by someone other than a relative, in consultation with appropriate departmental or unit administration
    • For funded research, this confirmation should include a review of documentation provided to ORC and/or funding agency (i.e. proposal)
  • Brief description of job duties and/or expected outcomes

Evaluation(s)

  • Third party supervisor should complete all annual performance evaluations as required by the University for the appropriate employment classification
  • An employee may not play any role in the evaluation of a relative. This includes but is not limited to
    • Peer evaluations of teaching
    • Annual evaluations
    • Nominations for college or University prizes or distinctions, and ranking of applications for sabbatical or travel awards
    • Tenure, permanent status, and promotion assessment

Conflict Resolution
• Employees within the same chain of command should be notified and provided the contact information of the third party supervisor.

Personnel Files

  • Carbon copies should be indicated on the manage plan document:
  • Employee’s personnel file
  • Third party supervisor’s personnel file
  • Appropriate staff members within unit – to ensure operations are altered appropriately
  • Time Period
    • Management plan spans potential employment dates
    • Must be reviewed annually by the College and adjusted (if necessary)